0001179110-12-012661.txt : 20120809 0001179110-12-012661.hdr.sgml : 20120809 20120809202718 ACCESSION NUMBER: 0001179110-12-012661 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120809 FILED AS OF DATE: 20120809 DATE AS OF CHANGE: 20120809 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAZEN PAUL CENTRAL INDEX KEY: 0001192055 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33437 FILM NUMBER: 121022114 MAIL ADDRESS: STREET 1: P O BOX 7070 CITY: CARMEL STATE: CA ZIP: 93921 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KKR Financial Holdings LLC CENTRAL INDEX KEY: 0001386926 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 113801844 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 555 CALIFORNIA STREET, 50TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: (415) 315-3620 MAIL ADDRESS: STREET 1: 555 CALIFORNIA STREET, 50TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94104 4 1 edgar.xml FORM 4 - X0306 4 2012-08-09 0 0001386926 KKR Financial Holdings LLC KFN 0001192055 HAZEN PAUL C/O KKR FINANCIAL HOLDINGS LLC 555 CALIFORNIA STREET, 50TH FLOOR SAN FRANCISCO CA 94104 1 0 0 0 Common Shares 2012-08-08 4 P 0 63737 9.1610 A 651043 D Common Shares 2012-08-09 4 P 0 46263 9.1559 A 697306 D Phantom Shares 2012-08-09 4 A 0 12958 9.26 A Common Shares 12958 12958 D The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.075 to $9.19 per share, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 1. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.10 to $9.19 per share, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 2. Consists of 640,989 common shares held directly by Mr. Hazen and an aggregate of 56,317 common shares held directly by trusts for which Mr. Hazen is an investment advisor and therefore may be deemed to have beneficial ownership of such shares. Mr. Hazen disclaims any beneficial ownership in the common shares held by these trusts. Each phantom share is the economic equivalent of one common share. The phantom shares become payable, in cash or common shares, at the election of the Company, upon the earlier of (i) the first day of January following the reporting person's termination of service as a director or (ii) an election date pre-selected by the reporting person, and in any event in cash or common shares, at the election of the reporting person, upon the occurence of a change in control of the Company. Paul M. Hazen 2012-08-09